Chapter 3:
FILING PRACTICES

Records management is the science of determining how files
will be arranged, categorized, accessed and stored, and in what
format. Proper filing practices ensure that the right information
will be in the right order, at the right time, at the right place,
to be retrieved for the lowest possible cost.

The Records Officer of an office is the "architect" of the
filing system in use in that organizational unit. Establishing an
efficient filing system involves planning the design of the system
to ensure productive workflow. This includes deciding how files
will be arranged, type of access, the classification system to be
used, coding and indexing schemes, and selecting the proper
equipment and supplies.

All written records have one thing in common: If something is
written down, then what is written is important enough either to be
filed in a place where it can be retrieved, or a conscious decision
to destroy it needs to be made. If there were no need to return to
information, there would be no need to write it down. Both official
records and grocery lists have life cycles, whether we file them in
drawers or in our wallets.

The first step in creating a filing system is to develop a
file plan. It specifies the logical order of documents or files and
the arrangement or scheme by which documents may be identified,
stored and retrieved. The plan consists of:

These may be topical or classified arrangements. Topical filing
arranges files in straight alphabetical order. For example, subject
correspondence would be arranged from A-Z, based on the name of the
subject. This method is also called the "dictionary" method because
it is the method used in dictionaries.

Classified filing places related documents under a major
sub-heading. For example, customer complaint correspondence may be
filed under the general heading of customer relations. An
alphabetical arrangement also is appropriate for filing records
that are arranged by geographical locations, such as cities, towns
or counties. This system is also called "encyclopedic" because
records are arranged first by broad categories (for example,
"grants"), followed by sub-headings ("2001"), followed by still
other sub-headings ("records" or "security").

More misfiling occurrences than in numerical systems. Misfiles
occur frequently with alphabetical filing due to different
interpretations of order. For example, the prefix "Mac" and "Mc"
may be filed in various positions if users are not adhering to the
same rules of alphabetical filing.

A numerical arrangement places records in order from the lowest
number to the highest. This method also often tells the searcher
which files are the oldest (the lowest numbered files) and which
are the newest (the higher numbered files). A numerical scheme is
easier to comprehend than alphabetical filing and may have fewer
misfiles. Numerical filing by file number, social security number,
chronologically or by patient or case number is common. Records
that have preprinted numbers on them such as checks, invoices,
purchase orders, and vouchers also are suited for this filing
arrangement.

It is what is called an "indirect method" because if a
requestor asks for a file, it is asked for by its name. If the
system is numeric, then the researcher must first look at an index
which cross-references the number with the name.

The file system is always growing in one direction at the end.
When new files are created and old ones are retired, file personnel
must continually shift the files backwards to make room for new
files at the highest number end of the system.

An alpha-numeric arrangement uses a combination of numeric
digits and alphabet characters to create a flexible filing system.
Subjects may be substituted with alphabetical or numerical codes.
An index is needed to use the system effectively. For example,
ADM-001 could be a code for Administrative files, Director's
Correspondence. All records that relate to this subject would be
filed under that particular code.

A direct access plan allows the user to access the file without
first referring to an index. Direct access may be ideal for small
offices that produce a low volume of records. (Example: If it is
easier to find information by a person's name, the system would be
alphabetical. One looks for the file directly by the name.)

An indirect access system requires the use of an index or codes
to locate a file, such as assigning a number to a file (e.g., case
number, project numbers, patient numbers). An indirect access
system generally is used for large or complex filing systems. It
may require the use of automated equipment to locate the files, as
well as knowledge of the coding system. (Example: If a person comes
to look for his/her file, but the system is numeric, the clerk
assisting the individual must first look up the person's name in
order to find the number of their file.)

A classification is a grouping of records with common
characteristics or which document similar functions. The point of
having a classification system is to keep all like records
together, which, in turn, expedites records retrieval and maintains
file integrity.

Generally, if the volume of records exceeds two file cabinets
and consists of multiple records series, then a files
classification system should be considered. Classification systems
sort records by major headings and subdivisions. The major heading
name usually is decided by the major function or main purpose of
the records; the subdivision would be a small component of the
major function. For example:

This filing system is often called encyclopedic, because
the arrangement is the same as that used in encyclopedias.

A dictionary classification system is straight
alphabetic, and many records managers find it easier to use a
dictionary rather than invent one. Of the two classification
systems, the dictionary system is simpler to operate.

A classification system is usually considered when:

The current filing system produces excessive misfiles.

Various subjects are filed by the same name.

The method for filing documents varies from user to user.

The volume of records is so large that an index is necessary to
locate a file quickly.